SFC Licences of NIP Sum Yee, Wenda 聶心怡
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Citigroup Global Markets Hong Kong Futures and Securities Limited | RE | 2 | 24 January 2005 | 21 February 2006 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | RE | 1 | 24 January 2005 | 21 February 2006 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 | RE | 1 | 24 January 2005 | 21 February 2006 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 | RE | 2 | 01 April 2003 | 12 January 2005 |
| KGI Asia Limited 凱基證券亞洲有限公司 | RE | 1 | 01 April 2003 | 12 January 2005 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 | RE | 9 | 01 April 2003 | 02 June 2004 |
| KGI Asia Limited 凱基證券亞洲有限公司 | RE | 4 | 01 April 2003 | 02 June 2004 |
| KGI Asia Limited 凱基證券亞洲有限公司 | RE | 6 | 01 April 2003 | 02 June 2004 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 | RE | 5 | 01 April 2003 | 02 June 2004 |
| KGI Asia Limited 凱基證券亞洲有限公司 | RE | 9 | 01 April 2003 | 02 June 2004 |